Today’s compliance environment is increasingly data-driven, placing new demands on legal professionals advising financial firms. This CLE course focuses on the legal and governance implications of data use in compliance, offering attorneys a deeper understanding of how data analytics are reshaping firm oversight and regulatory responses.

This CLE course begins with a look at how firms—regardless of size or resource levels—are integrating analytics into their compliance and surveillance programs. Through a risk-based, outcome-focused lens, panelists will share real-world strategies and practical guidance, particularly relevant to attorneys working with or advising small and mid-sized firms.

Attention will then turn to how FINRA supports firms in this evolving space. Participants will learn about key intelligence resources now available, including the role of the Strategic Intelligence (StratIntel) team and the Financial Intelligence Unit (FIU), as well as the value of FINRA’s enhanced report cards and other surveillance tools in identifying patterns of concern.